DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
M•••• C•••••• M••••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Mar 20, 2012 · 22 filings
SEC status approved since Jan 8, 1981
RAUM
$795M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
85%
$675M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$199M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$795M as of Mar 30, 2026
Mar 20, 2012$228M then
HNW client RAUM$675M as of Mar 30, 2026
Mar 23, 2018$337M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 20, 20120 then
Employees (5.A)8 as of Mar 30, 2026
Mar 20, 20137 then
Private funds: no history
RAUM -2.5% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $199MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 184derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $917,795derivedHNW RAUM over HNW clients
- Average account
- $969,543derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, educational seminarsreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$675M85%
- Charitable organizations$67.8M8.5%
- Pension and profit-sharing plans$47.3M6.0%
- Corporations and businesses$4.4M0.6%
- Individual clients
- 0reported
- HNW clients
- 736reported
- Pension plan clients
- 56reported
- Charitable clients
- 20reported
- Accounts
- 820reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.85 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••••• M•••• I••Certified Financial Planner, Chartered Financial Analyst | Morristown, Nj | Jun 11, 2002 | 32 y | 0 |
| P•••• J•••• M••••Certified Financial Planner | Morristown, Nj | Jul 13, 2004 | 23 y | 0 |
| W•••••• F• K•••• | Morristown, Nj | Jan 11, 2017 | 17 y | 1 |
| R••••••• M••••Chartered Financial Analyst | Morristown, Nj | Jan 1, 2026 | 45 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- W•••••• F• K•••• from T•• C•••••• M••••••••• G••••• L••Jan 11, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• I••• R••••••• · Managing Partner/Chief Compliance Officercontrolsince 01/1997 · owns 50% to 75%
- M••••• P••••• J•••• · Managing Partnercontrolsince 03/2004 · owns 50% to 75%
- N•••••• H••••••• M• · Vice Presidentsince 10/2021 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Morristown, Nj · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 842 to 820Mar 4, 2025 to Mar 30, 2026
- Charity clients · 21 to 20Mar 4, 2025 to Mar 30, 2026
- Corporate clients · 7 to 8Mar 4, 2025 to Mar 30, 2026
- HNW clients · 751 to 736Mar 4, 2025 to Mar 30, 2026
- Pension plan clients · 60 to 56Mar 4, 2025 to Mar 30, 2026
- Discretionary RAUM · $816M to $795MMar 4, 2025 to Mar 30, 2026
- HNW RAUM · $682M to $675MMar 4, 2025 to Mar 30, 2026
- Pension RAUM · $46.0M to $47.3MMar 4, 2025 to Mar 30, 2026
- RAUM · $816M to $795MMar 4, 2025 to Mar 30, 2026
- Accounts · 818 to 842Mar 14, 2024 to Mar 4, 2025
- Advisory employees · 4 to 5Mar 14, 2024 to Mar 4, 2025
- Charity clients · 23 to 21Mar 14, 2024 to Mar 4, 2025
- HNW clients · 729 to 751Mar 14, 2024 to Mar 4, 2025
- Pension plan clients · 59 to 60Mar 14, 2024 to Mar 4, 2025
- Employees · 7 to 8Mar 14, 2024 to Mar 4, 2025
- Financial planning clients · 101-250 to 101-250Mar 14, 2024 to Mar 4, 2025
- Discretionary RAUM · $702M to $816MMar 14, 2024 to Mar 4, 2025
- HNW RAUM · $585M to $682MMar 14, 2024 to Mar 4, 2025
- Pension RAUM · $35.2M to $46.0MMar 14, 2024 to Mar 4, 2025
- RAUM · $702M to $816MMar 14, 2024 to Mar 4, 2025
- Accounts · 785 to 818Mar 21, 2023 to Mar 14, 2024
- Charity clients · 22 to 23Mar 21, 2023 to Mar 14, 2024
- Corporate clients · 6 to 7Mar 21, 2023 to Mar 14, 2024
- HNW clients · 700 to 729Mar 21, 2023 to Mar 14, 2024
- Pension plan clients · 57 to 59Mar 21, 2023 to Mar 14, 2024
- Discretionary RAUM · $585M to $702MMar 21, 2023 to Mar 14, 2024
- HNW RAUM · $482M to $585MMar 21, 2023 to Mar 14, 2024
- Pension RAUM · $25.3M to $35.2MMar 21, 2023 to Mar 14, 2024
- RAUM · $585M to $702MMar 21, 2023 to Mar 14, 2024
- Accounts · 777 to 785Mar 16, 2022 to Mar 21, 2023
- Charity clients · 21 to 22Mar 16, 2022 to Mar 21, 2023
- Corporate clients · 7 to 6Mar 16, 2022 to Mar 21, 2023
- HNW clients · 689 to 700Mar 16, 2022 to Mar 21, 2023
- Pension plan clients · 60 to 57Mar 16, 2022 to Mar 21, 2023
- Employees · 8 to 7Mar 16, 2022 to Mar 21, 2023
- Discretionary RAUM · $668M to $585MMar 16, 2022 to Mar 21, 2023
- HNW RAUM · $554M to $482MMar 16, 2022 to Mar 21, 2023
- Pension RAUM · $33.0M to $25.3MMar 16, 2022 to Mar 21, 2023
- RAUM · $668M to $585MMar 16, 2022 to Mar 21, 2023
- Accounts · 746 to 777Mar 16, 2021 to Mar 16, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 973-387-1080reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/M••••-CAPITAL- MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- M••••CAPITAL.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 973-387-1080reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $199Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026